IAA Today Archive

Few Big Changes in New Regulatory Agendas, Ambitious Rulemakings to Persist

We’re sorry – you must be a member to view this content. Please log in.

January 09, 2023

Keywords:  Money Market Funds, AML, CFTC, Custody, Cybersecurity, DOL, ESG, Private Funds, Proxy Voting, Regulatory Agents, SEC Investment Management

Categories & Topics: AML/OFAC, CFTC, Compliance, Cybersecurity/Privacy, ERISA & Pension Plans, ESG, Industry-Level, Proxy Voting

Agencies Update Regulatory Agendas, Custody Rule Proposal Expected Soon

We’re sorry – you must be a member to view this content. Please log in.

June 27, 2022

Keywords:  Money Market Funds, AML, CFTC, Custody, Cybersecurity, DOL, ESG, Private Funds, Proxy Voting, Regulatory Agendas, SEC Investment Management

Categories & Topics: AML/OFAC, Business Ops/HR, CFTC, Compliance, Cybersecurity/Privacy, ERISA & Pension Plans, ESG, Industry-Level, Proxy Voting

SEC Seeks Public Comments on Whether “Information Providers” Are Acting as “Investment Advisers”

We’re sorry – you must be a member to view this content. Please log in.

June 27, 2022

Keywords:  Form ADV, Active Management, SEC Investment Management

Categories & Topics: Active/Passive, Form ADV & CRS, Industry Trends, Industry-Level, Reporting

William Birdthistle Appointed SEC Investment Management Director

We’re sorry – you must be a member to view this content. Please log in.

December 21, 2021

Keywords: SEC Appointments, SEC Investment Management

Categories & Topics: Industry Trends

Agencies’ Regulatory Agendas Include AML, Cybersecurity, ESG, and More

We’re sorry – you must be a member to view this content. Please log in.

December 15, 2021

Keywords:  Money Market Funds, AML, CFTC, Custody, Cybersecurity, DOL, ESG, Private Funds, Proxy Voting, Regulatory Agendas, SEC Investment Management

Categories & Topics: AML/OFAC, CFTC, Cybersecurity/Privacy, ERISA & Pension Plans, ESG, Proxy Voting

SEC Proposes Reporting Say-on-Pay Votes, Updates to Fund Proxy Reporting

We’re sorry – you must be a member to view this content. Please log in.

October 05, 2021

Keywords: Elad Roisman, ESG, Gary Gensler, Hester Peirce, Mutual Funds, Proxy, SEC Investment Management

Categories & Topics: Business Ops/HR, ESG, Industry-Level, Proxy Voting, Registered Funds

Federal Agencies Release Spring 2021 Regulatory Agendas

We’re sorry – you must be a member to view this content. Please log in.

June 16, 2021

Keywords: Accredited Investor, CFTC, Custody, DOL, ESG, Marketing Rule, Money Market Fund, Proxy Voting, Regulatory Agendas, SEC Investment Management

Categories & Topics: Business Ops/HR, CFTC, Compliance, Custody, ERISA & Pension Plans, ESG, Industry-Level, Proxy Voting

SEC Requests Feedback on Money Market Fund Report

We’re sorry – you must be a member to view this content. Please log in.

December 28, 2020

Keywords: Coronavirus, COVID-19, Dalia Blass, Industry Trends, Money Market Fund, SEC Investment Management

Categories & Topics: Industry Trends, Industry-Level